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CFTC Releases No-Action Position on PCAOB Requirement to Communicate Critical Audit Matters
  • Katten Muchin Rosenman LLP
  • USA
  • August 31 2018

On August 29, the Commodity Futures Trading Commission’s Division of Swap Dealer and Intermediary Oversight (Division) issued a no-action letter

FINRA Issues Digital Asset Notice
  • Dinsmore & Shohl LLP
  • USA
  • July 26 2018

On July 6, 2018, FINRA issued a regulatory notice encouraging member firms to provide notification if the firms, their associated persons or

Supreme Court Holds SEC ALJs Must Be Appointed by Agency Heads
  • Ogletree Deakins
  • USA
  • June 21 2018

On June 21, 2018, the Supreme Court of the United States held in Lucia v. Securities and Exchange Commission that the former practice of the

PCAOB Seeks Public Input on Strategic Priorities
  • Wilmer Cutler Pickering Hale and Dorr LLP
  • USA
  • April 27 2018

The last of the five new members of the Public Company Accounting Oversight Board was sworn in earlier this month. The reconstituted Board's first

Blowing The Whistle Proves a Safe Bet: SEC Announces First Award Under Dodd-Frank Safe Harbor Provision
  • Vinson & Elkins LLP
  • USA
  • April 9 2018

On April 5, the U.S. Securities and Exchange Commission (“SEC” or “Commission”) announced the first monetary award under the Dodd-Frank safe harbor

PCAOB And Accounting Firm Employees Charged With Misuse Of Confidential Data To Improve Firm’s Inspection Results
  • Shearman & Sterling LLP
  • USA
  • January 30 2018

On January 22, 2018, the SEC announced civil charges against six certified public accountants for their role in an alleged scheme to misappropriate

Former Employees of Major Accounting Firm Subject to Criminal Charges and SEC Enforcement Action for Alleged Scheme to Use Nonpublic PCAOB Information for Firm’s Benefit
  • Katten Muchin Rosenman LLP
  • USA
  • January 28 2018

Five persons were criminally charged in a federal court in New York City with engaging in a scheme to illicitly obtain confidential information from

Reminders for Foreign Private Issuers for the 2018 Annual Reporting Season
  • White & Case LLP
  • USA, United Kingdom, European Union
  • January 24 2018

This memorandum outlines certain considerations for foreign private issuers ("FPIs") in preparation for the 2018 annual reporting season. Part I of

As President Xi’s Power Grows, So Does China’s Presence on World Stage
  • Skadden Arps Slate Meagher & Flom LLP
  • China
  • January 23 2018

In October 2017 at the Chinese Communist Party National Congress, President Xi Jinping consolidated his hold on power and cemented himself as what

SEC files charges against former PCAOB staff and former KPMG partnerscollateral impact?
  • Cooley LLP
  • USA
  • January 23 2018

Yesterday, the SEC filed charges against six CPAs, including former staffers at the PCAOB and former partners of KPMG, arising out of “their